1. Introduction to Sponsored Projects Sudha Ramaswami, Sonya Stern, Nick Brightman

2. Introduction to Sponsored Projects This session will provide an overview of the grant life cycle from searching for funding to grant closeout.

3. Learning Objectives Participants will: Receive an overview of Sponsored Project Administration Learn about the grant lifecycle Know where to go for help and become aware of future learning opportunities

4. What is a sponsored project? Externally-funded activities in which a formal written agreement, i.e., a grant, contract, or cooperative agreement, is entered into by recipient (UVM) and sponsor Supports research, public service, or instructional efforts at the university

5. Characteristics of sponsored projects Statement of work Detailed financial accountability a. Project plan with a line-item budget, including budgetary restrictions at the line item level; b. Specified period of performance; c. Cost reimbursable accounting, with the requirement to return any unspent funds at the end of the period of performance; d. Detailed financial reporting; e. Accountability under the terms of the Uniform Guidance f. Effort reporting requirement. Regulatory compliance requirements, including: a. Export Controls b. Conflicts of Interest Restrictive provisions related to intellectual property rights or publications

6. Common terms Grant - assistance mechanism Contract - procurement mechanism Cooperative Agreement - similar to a grant but with more involvement from sponsor Uniform Guidance 2 CFR 200 Federal Acquisition Regulations (FAR) Subrecipient Cost share Principal Investigator (PI)

7. Sponsored Project Administration Integrated office supporting faculty and sponsors on activities within the grant life cycle Collaborates with business unit administrators in providing this support Focus on service, compliance, and capacity Solely responsible for accepting awards on behalf of UVM

8. Grant Life Cycle Sponsored Project Training Program

9. Find Funding Alert services InfoEd SMARTS NIH Guide for Grants and Contracts National Science Foundation Update Grants.gov Databases InfoEd SPIN (Sponsored Programs Information Network) Community of Science PIVOT Grant proposal writing resources Sponsored Project Training Program

10. Find Funding SPA provides individualized services to UVM faculty, staff, and students in their search for funding opportunities Contact Hilda Alajajian at 6-1322 to schedule an appointment https://www.uvm.edu/spa/?Page=findfunding.html Sponsored Project Training Program

11. Proposal Development & Submission Collaboration between PI, business unit administrator, and SPA Determining PI eligibility Faculty and professionally qualified staff with a.50 FTE or greater Emeriti faculty, with dept & college approval https://www.uvm.edu/spa/?Page=pieligibility.html Sponsored Project Training Program

12. Proposal Development & Submission Contact SPA early and often Intent to apply Sponsor guidelines Funding restrictions Draft budget & scope of work Budget development Subawards Interpretation of university federal & sponsor regulations Completion of agency forms & certifications Sponsored Project Training Program

13. Proposal Development & Submission PI responsibilities Writing the proposal, scope of work Responsible for the successful routing and approval of the proposal Ultimately responsible for proposal submission Coordinating with sub awardees Get the approval of Dean/Chair on Levels of effort Staff on the project Cost share Space Multi PI plans IBB allocation Sponsored Project Training Program

14. Proposal Development & Submission Dept Chair reviews & approves proposal prior to submission Quality Consistency with unit mission Effort Cost share commitments Space IBB allocations

15. Proposal Development & Submission Business unit administrator responsibilities: Assist PI with budget & other administrative tasks Confirm chartstrings for cost share commitments Assist, if applicable, with decisions on budget & space availability Dept admin toolkit - https://www.uvm.edu/spa/?Page=departmentadministratortoolkit.html https://www.uvm.edu/spa/?Page=departmentadministratortoolkit.html UVM Fact Sheet - https://www.uvm.edu/spa/?Page=uvmfactsheet.htmlhttps://www.uvm.edu/spa/?Page=uvmfactsheet.html Sponsored Project Training Program

16. Proposal Development & Submission Regulatory research requirements (use of human subjects, animals, recombinant DNA, etc.) Research Protections Office - http://www.uvm.edu/rpo/http://www.uvm.edu/rpo/ Financial conflicts of interest https://www.uvm.edu/spa/?Page=conflictofinterest.html University policies & operating procedures Sponsored Project Training Program

17. InfoEd Proposal Development is used by the PI to: Upload proposal documents Route proposals for internal approvals System-to-system proposal submissions (NIH) Proposal Tracking is used by the PI & business unit administrators to: Track & report – current & pending support data View proposal documents Sponsored Project Training Program

18. InfoEd – Training Resources For questions/training, contact Cathy Ruley Condon at catherine.ruley@uvm.edu or 6-3360 or visit InfoEd website https://www.uvm.edu/~infoed/catherine.ruley@uvm.eduhttps://www.uvm.edu/~infoed/ InfoEd login - https://spogi.uvm.edu/https://spogi.uvm.edu/ Sponsored Project Training Program

19. Award Acceptance & Set up Award receipt & Acceptance Final negotiations including budget revisions if any – Federal/Private or industry Clarification of reporting & invoicing terms Clarification of publication, data ownership & Intellectual Property rights Clarification of indemnification and insurance requirements Adhering to applicable university policies & procedures PI responsibilities Review and approve scope of work, technical reporting requirements, and other terms and conditions Work with SPA to negotiate contract as needed Sponsored Project Training Program

20. Award Acceptance & Set up Set up in Peoplesoft Budget information & chartstrings – including cost share Reporting & Invoicing terms & conditions Additional terms & conditions Set up in InfoEd RPO approvals Conflict of Interest information Issues delaying the set up Research protection approvals Conflict of interest disclosures Institutional procedures, such as cost policy justification forms

21. Award Acceptance & Set up Notification sent to PI & business unit administrator once award is set up in both systems The notification includes Award document Award routing packet including the budget worksheet A report of the chartstrings set up for the grant – sponsored and cost share A note about any special terms and conditions Sponsored Project Training Program

22. Award Management Critical component of the award life cycle Continuous monitoring during this phase of Effort Expenses Rebudgeting Cost transfers Cost sharing Actions requiring prior approval from sponsor PI responsibilities Manage project personnel, including subrecipients Ensures meeting of cost share commitments, including third party commitments Periodical monitoring of expenses with the assistance of the business unit administrator Seeks prior approvals from sponsor when necessary Approves sub recipient invoices Ensures timely & accurate effort reporting of personnel

23. Award Management SPA’s role during this process Financial analysts acts as the first point of contact for requests related to PeopleSoft Rebudgeting Journal Entry approval Budget checking errors Research Administrators will assist in the preparation & submission of prior approval requests, including extensions Financial Analysts do an annual review of the various terms & conditions for federal awards and per award terms for private awards Financial Analysts do interim financial reports as required by the sponsor Financial Analysts receive the subrecipient invoices, analyze them for expense allowability & other terms & conditions and forward to the PI for approval

24. Award Management Business unit administrator responsible for: Reviewing and analyzing financial activity Monitoring cost share and effort commitments Should meet with PIs at least quarterly Learning opportunity: Grant Financial Management: Tools & Best Practice Wednesday, November 16, 2:00 – 3:15 Sponsored Project Training Program

25. Award Closeout SPA prepares and circulates monthly reports of awards: Ending within 90 days, or Has ended within the last 30 days An email from the Financial Analyst: Confirming final expenses Requesting clarification on expenses that are miscoded, unusual based on the scope of work of the project, or potentially unallowable Listing any pending transactions that need to be processed PI responsibilities All expenses have been accounted for or have been forwarded to SPA, including the sub recipient expenses Cost share commitments have been met Final Technical/Progress reports have been sent Final invention statement, if applicable, has been sent

26. Award Closeout Business Unit Admin responsibilities Assist the PI with meeting their responsibilities Ensures that cost share is correctly and fully accounted for against the department chartstring SPA responsibilities Responsible for preparing & submitting financial reports Closeout in PS & InfoEd Facilitate invention and other closeout reporting with PIs and others, as needed Sponsored Project Training Program

27. PeopleSoft System of record for financial & human resource data Source of internal control Budget limited to the awarded amount Only approved categories set up Exceptions highlighted Used for Accounting & tracking expenses based on chartstring Reporting of these expenses using various tools Sponsored Project Training Program

28. PeopleSoft – Training & Resources See UVM Learning Services website for training opportunities & online resources https://www.uvm.edu/hrs/?Page=skills/develop_skills.html https://www.uvm.edu/hrs/?Page=skills/develop_skills.html PeopleSoft login - https://www.uvm.edu/~erp/portal/https://www.uvm.edu/~erp/portal/ Sponsored Project Training Program

29. Grant Life Cycle Sponsored Project Training Program

30. SPA activities outside of Grant Life Cycle Cash management & collections Subrecipient monitoring USDA federal formula funds Audit coordination A few non-sponsored agreements Sponsored Project Training Program

31. Outside of SPA’s responsibilities Effort reporting (Cost Accounting Services); F&A rate negotiation (Cost Accounting Services); IRB, IAUCU, or IBC protocol submission processes (Research Protections Office); Travel & expense reimbursement (Disbursement Center); Purchase order issuance & invoice processing (Purchasing); Pay rate changes and personnel actions (Human Resources); Payroll-related actions (Payroll); Endowment/Gift chartstring set up and processing (University Financial Services).

32. Continuous coordination with units on campus Purchasing Purchase orders Disbursement centers Check requests & purcards Travel advances & reimbursements University Financial Services Account set up Audits Cost Accounting Services Effort reporting Space & Equipment Inventory Payroll Services UVM Foundation Student Financial Services Graduate College Sponsored Project Training Program

33. Additional Resources Dean’s Offices Roles and Responsibilities: http://www.uvm.edu/spa/?Page=rolesandresponsibilities.html Quick Compliance Guide for PIs: http://www.uvm.edu/spa/documents/quickcomplianceguide.pdf UVM & Federal Policies: http://www.uvm.edu/spa/?Page=uvmandfederalpolicies.html

34. Introduction to Sponsored Projects Questions? Sponsored Project Training Program